J.P. Morgan Wealth Management - Vice President - Supervisory Manager - San Jose, CA

Location: San Jose, CA, United States

Job Family: Business Management

About the Role

At J.P. Morgan Wealth Management, we are seeking a seasoned Vice President - Supervisory Manager to join our San Jose, CA team. In this critical role, you will play a pivotal part in safeguarding our clients' interests by assisting the business in navigating complex regulatory obligations, mitigating operational risks, and upholding stringent supervisory requirements. As a key leader within our Wealth Management division, you will ensure that our advisors deliver exceptional service while maintaining the highest standards of compliance and integrity, aligning with J.P. Morgan's commitment to ethical financial practices in a dynamic market environment. Your primary focus will be on developing and executing robust supervisory frameworks that monitor advisor activities, trade executions, and client interactions to prevent regulatory violations. You will collaborate closely with branch leadership, compliance officers, and risk management teams to identify emerging risks, conduct thorough reviews, and implement corrective actions. Leveraging your deep expertise in financial regulations, you will drive initiatives that enhance operational efficiency and protect against potential liabilities, all while supporting the growth of our wealth management offerings in the vibrant San Jose region. This position offers a unique opportunity to contribute to J.P. Morgan's legacy of innovation and client-centric solutions in wealth management. You will mentor junior staff, lead training programs on compliance best practices, and provide strategic insights to senior executives, fostering a culture of accountability and excellence. If you are a proactive leader with a passion for regulatory excellence and a proven ability to manage risks in high-volume financial services settings, join us to help shape the future of wealth advisory at one of the world's leading financial institutions.

Key Responsibilities

• Oversee and manage the supervisory review processes for wealth management advisors to ensure adherence to regulatory standards
• Develop and implement operational risk management frameworks to identify, assess, and mitigate potential risks
• Collaborate with business leaders to maintain compliance with FINRA, SEC, and internal J.P. Morgan policies
• Conduct regular audits and surveillance of client interactions, trade activities, and advisory recommendations
• Provide training and guidance to team members on supervisory obligations and best practices in wealth management
• Monitor and report on key risk indicators, escalating issues to senior management as needed
• Lead initiatives to enhance supervisory controls and operational efficiency within the San Jose branch
• Partner with legal and compliance teams to address regulatory changes and updates
• Foster a culture of risk awareness and accountability across the wealth management division
• Analyze supervisory data to drive continuous improvement in business processes and client protection

Required Qualifications

• Bachelor's degree in Finance, Business Administration, Law, or a related field
• Minimum of 7-10 years of experience in financial services, with at least 5 years in supervisory or compliance roles within wealth management
• In-depth knowledge of SEC, FINRA, and other regulatory requirements applicable to wealth management
• Proven track record in managing operational risks and implementing supervisory controls in a high-stakes financial environment
• Series 7, Series 66, and Series 24 licenses or equivalent
• Experience in leading cross-functional teams to ensure compliance and risk mitigation
• Strong understanding of J.P. Morgan's wealth management products and services

Preferred Qualifications

• Advanced degree (MBA or JD) with a focus on finance or regulatory compliance
• Prior experience at a major financial institution like J.P. Morgan Chase in a supervisory capacity
• Certification as a Certified Regulatory and Compliance Professional (CRCP) or similar
• Familiarity with technology-driven risk management tools used in wealth advisory
• Experience in the California market, including knowledge of state-specific financial regulations

Required Skills

• Regulatory compliance expertise
• Risk assessment and management
• Supervisory oversight and auditing
• Financial product knowledge (investments, advisory services)
• Leadership and team management
• Analytical and problem-solving abilities
• Communication and stakeholder engagement
• Attention to detail and accuracy
• Project management and process improvement
• Knowledge of FINRA/SEC rules
• Data analysis and reporting
• Training and mentoring skills
• Adaptability to regulatory changes
• Ethical decision-making
• Proficiency in Microsoft Office and compliance software

Benefits

• Competitive base salary and performance-based annual bonus
• Comprehensive health, dental, and vision insurance plans
• 401(k) retirement savings plan with generous company matching
• Paid time off, including vacation, sick days, and parental leave
• Professional development programs and tuition reimbursement for advanced education
• Employee stock purchase plan and access to J.P. Morgan's wealth management resources
• Wellness programs, including gym memberships and mental health support
• Relocation assistance for eligible candidates moving to San Jose

JP Morgan Chase is an equal opportunity employer.